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In recent years compliance issues have become increasingly significant and important to financial institutions.  Many of the firms we represent will not be able to consider a Financial Advisor that has more than three marks (dings) on their U-4 or that has a documented complaint that is still pending.  If you are fighting an open dispute it is best to have the backing of your current firm.  A new company will not wish to take on this responsibility and your present firm will no longer feel an obligation once you have changed affiliations.


If you have less than three marks but one or more were settled for a substantial amount this can also pose a challenge as well.  If you have more than three marks but there were multiple marks from one circumstance, we can sometimes work around that in certain situations.


The hiring firm will need a written explanation from you about the circumstances of the complaint to submit to compliance.  Many times that is enough, although large and/or trade-related issues will often require further explanation.


If you would like to view your U-4 go to http://www.finra.org/brokercheck.  This is public information that anyone can request.